Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Eldridge O'Brien is an investment professional with over 30 years of experience in the financial services industry. O'Brien is currently registered with Wealthpenn.comllc as a Registered Representative and Investment Advisor Representative. William has worked for several firms throughout his career including Citigroup Global Markets Inc., Wachovia Securities, LLC, and Dean Witter Reynolds Inc. O'Brien holds licenses including Series 7, Series 9, Series 10, Series 31, Series 63, and Series 65 and offers a range of financial services such as asset allocation advice, financial planning, pension consulting, and portfolio management for individuals, businesses, and investment companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IL
04/23/2020 - Present
Morgan Stanley (Chicago IL)
IL
05/08/2009 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (OAKBROOK TERRACE IL)
IL
10/02/1998 - 05/11/2009
WACHOVIA SECURITIES, LLC (ITASCA IL)
NY
03/22/1996 - 11/02/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IL
02/25/1993 - 06/07/1994
DREHER & ASSOCIATES, INC. (OAKBROOK TERRACE IL)
NY
09/20/1988 - 03/05/1991
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 12/6/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/10/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/30/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 8/27/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/27/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 9/17/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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